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James William Hawes

NEW York Life Investment Management LLC

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About James William Hawes

James Hawes is a financial advisor at New York Life Investment Management LLC. James has been a financial advisor since 1993 and has been registered with the state of Massachusetts since 2002. James has a wide range of experience in the financial services industry, including experience working for NYLIFE Securities Inc. and Franklin/Templeton Distributors, Inc. James holds several securities licenses, including Series 6, 7, and 63. James is also licensed as an Investment Advisor Representative in Massachusetts. James specializes in portfolio management for individuals, businesses, investment companies and pooled investment vehicles.

Firm Information

James Hawes is currently registered with NEW York Life Investment Management LLC. NEW York Life Investment Management LLC is an investment advisor based in NEW YORK, NY. It is a registered investment advisor with the SEC and has a total of 1123 accounts under management. The firm provides portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles. Its assets under management are approximately $109,067,423,343. The firm participates in wrap fee programs.
NEW York Life Investment Management LLC

51 MADISON AVENUE

NEW YORK, NY 10010

$109.07B

Assets Under Management

Not reported

Total Clients

81

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Hawes’s Registration & Firm History

NY

05/22/2002 - Present

NEW York Life Investment Management LLC (NEW YORK NY)

NY

04/17/1996 - 12/07/2001

NYLIFE SECURITIES INC. (NEW YORK NY)

CA

09/17/1993 - 03/25/1996

FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)

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Licenses & Designations

IA

Issued 05/14/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/30/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/15/1995

Series 7 - General Securities Representative Examination

BC

Issued 09/15/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James William Hawes.
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